Dated 18/04/2018

operators have different in sizes, target audience, and number of clients. Therefore, it depends on the business operators to find the most appropriate method to perform e-KYC as long as they follow the

Microsoft Word - SET 2018-004 MD_A EN 2017 (Translation) February 22, 2018 Ref: SET-2018-004 Re: Management's Discussion and Analysis and operating results for the Year 2017 Attn. to: President The

} frequently failed to record his clients' securities trading orders as the same as {B} case as reported by his employer Phara Securities Plc. Both persons admitted that they took those orders via mobile phone

According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant

for a private placement without obtaining a prior approval from the SEC on 7 March, 2018. SEC Act S.300 in conjunction with 33 Settlement Committee Meeting No. 4/2019 Settlement Committee Order No

Settlement Committee Meeting No. 1/2018 Settlement Committee Order No. 4/2018 Dated 30/01/2018

securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement Committee Meeting No. 1/2018 Settlement Committee Order

approval from the SEC. SEC Act S.33 Settlement Committee Meeting No. 3/2018 Settlement Committee Order No. 12/2018 Dated 28/03/2018

Meeting No. 3/2018 Settlement Committee Order No. 13/2018 Dated 28/03/2018